Regional Supervision Manager

TRC's partner, a leading wealth management organization, is hiring a Regional Supervision Manager for a direct hire opportunity!

The Regional Supervision Manager (RSM) is responsible for reviewing and supervising brokerage, advisory, and directly held transactions to ensure compliance with regulatory requirements, firm policies, and best-interest standards.

Key Responsibilities

Review brokerage, advisory, and direct transactions to ensure suitability, best interest, and policy adherence

Conduct account reviews, transaction supervision, and queue management oversight for assigned Financial Professionals

Evaluate and approve Outside Business Activities, account acceptance, and annual compliance requirements

Monitor supervisory reports and enforce internal controls aligned with FINRA and SEC regulations

Identify and escalate risk-based findings; partner with Supervision and Compliance on corrective actions

Serve as the primary home office contact for supervision-related inquiries

Support onboarding, education, and ongoing training of Financial Professionals and support staff

Collaborate cross-functionally with Supervision, Compliance, and other departments on firm initiatives and regulatory projects

Required Qualifications

Minimum 3 years of experience conducting suitability or best interest transaction reviews within financial services

Active FINRA Series 7, 24, and 63/65 or 66

Strong knowledge of FINRA and SEC regulations

Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment

Excellent analytical, organizational, and problem-solving skills

Preferred Qualifications

FINRA Series 4 and/or 53 (or willingness to obtain)

Bachelor’s degree preferred; equivalent experience considered

Compensation & Benefits

Competitive total compensation package including medical, dental, vision, 401(k), paid time off, volunteer days, and more.